Securities and exchange commission (sec)
UBS files riskiest products in latest SEC registrations
Reverse convertibles from UBS linked to Chesapeake Energy shares have the highest riskmap scores in the latest filings with the Securities and Exchange Commission
US regulator's chief accountant will step down next month
Credit rating agency oversight starts today
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Banks offer more chances for leverage in latest SEC filings
Ten leveraged return structures from four different issuers in the latest SEC filings show that a degree of risk appetite has returned to the market
ETFs dominate underlyings in latest SEC registrations
Exchange-traded funds form the basis of a raft of structured products registered with the US regulator in the week ending June 8
Swedish names make appearance in latest SEC structured product filings
Swedish wealth manager Garantum Fondkommissionen and Swedish Export Credit Corporation returned to the US structured products market last week
Velocityshares implosion puts leveraged ETNs in the frame
Credit Suisse’s recent move to suspend issuance of a popular exchange-traded note caused the value of the note to whipsaw, and the bank is being asked pointed questions by regulators. Other dealers accuse the bank of mishandling the situation and claim...
Structured Products Americas: some welcome consistency in the complexity...
Richard Jory reports from the Structured Products Americas conference in Miami
People: JP Morgan veteran Ina Drew quits after $2 billion trading loss
Losses in London-based chief investment office claim first casualty, JP Morgan drafts in fixed income co-head to steady the ship; Coutte becomes latest senior figure to leave SG CIB's fixed income and forex business; LCH.Clearnet creates CRO role; forex...
The club no-one wants to join: swap dealer rules remain unclear
Around 120 firms will be classed as swap dealers under the Dodd-Frank Act, US regulators estimate – but hundreds more will be uncertain whether they are caught or not. Answering that question may not be easy, lawyers warn. Peter Madigan reports
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Using market and credit risk analytics to strengthen performance
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How financial services need to consider their IT infrastructure
The global credit crisis exposed the weaknesses inherent in the risk management and IT infrastructures employed by banks.
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